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For Whom the Bell Tolls? It Tolls for Thee, American Pipe and Successive Class Actions
  • Vedder Price PC
  • USA
  • June 11 2018

Clients regularly ask: If we win this putative class action, can the opposition just file another one on behalf of another as-yet-unidentified


TCPA Case Law Update (Vol. 2)
  • Vedder Price PC
  • USA
  • June 5 2018

In case there was any doubt that TCPA cases continue to flood federal court dockets nationwide, we recently reviewed the nearly 300 decisions


SEC Issues Interpretive Guidance regarding the Standard of Conduct for Investment Advisers
  • Vedder Price PC
  • USA
  • June 4 2018

On April 18, 2018, the SEC proposed an interpretation of the "federal fiduciary standard" applicable to investment advisers under Section 206(1) and


SEC Proposes Amendments to Auditor Independence Rules to Address Certain Lending Relationships
  • Vedder Price PC
  • USA
  • June 4 2018

On May 2, 2018, the SEC issued proposed amendments to its auditor independence rules concerning the independence of an audit firm that has a lending


SEC Staff Issues Share Class Selection Disclosure Initiative FAQs
  • Vedder Price PC
  • USA
  • June 4 2018

On May 1, 2018, the staff of the SEC's Division of Enforcement (the Division) issued guidance in the form of frequently asked questions (FAQs


SEC Reaches Settlements with Three Registered Investment Advisers on Share Class Selection Allegations
  • Vedder Price PC
  • USA
  • June 4 2018

On April 6, 2018, the SEC announced that it had settled charges with three investment advisers in connection with alleged fiduciary duty breaches


OCIE Issues Risk Alert on Advisory Fee and Expense Compliance Issues Identi ied in De iciency Letters
  • Vedder Price PC
  • USA
  • June 4 2018

On April 12, 2018, the staff of the SEC's Office of Compliance Inspections and Examinations (OCIE) published a National Exam Program Risk Alert (the


SEC Proposes New Rule that Would Require Broker-Dealers to Act in Best Interest of Retail Customers
  • Vedder Price PC
  • USA
  • June 4 2018

On April 18, 2018, the SEC proposed a new rule under the Securities Exchange Act of 1934“Regulation Best Interest” (Reg. BI)that would establish a


SEC Proposes New Disclosure Requirements for Financial Professionals
  • Vedder Price PC
  • USA
  • June 4 2018

On April 18, 2018, the SEC proposed rules that would require investment advisers and broker-dealers to provide retail investors a short customer or


SEC Division of Investment Management Director Dalia Blass Discusses Standard of Conduct Rulemaking Proposals and Liquidity Risk Management at PLI Investment Management Institute
  • Vedder Price PC
  • USA
  • June 4 2018

In her remarks at the PLI Investment Management Institute 2018 in New York on April 30, 2018, SEC Division of Investment Management (IM) Director